The First AML platform empowers users with customisable settings to personalise their experience. Compliance Admins have the ability to configure various aspects such as screening preferences, email notifications, branding elements, risk assessments and office information to suit their requirements.
TABLE OF CONTENTS
Navigating to Settings
On the left hand side of the page, click ‘Settings’ to prompt the below dropdown.
Select from the five options Emails, Branding, Offices, Risk Assessment, Ongoing.
Emails
The Emails page provides users with the ability to efficiently manage Case approval emails and enable sending automated follow ups.
For Case approval, users can select which staff members should be informed via email when a case is ready for review.
Options include choosing the case requestor (member who created the case), the case lead, and/or entering a specific overarching email address.
Email notifications can also be configured at an office level, for information about this see: Office level email configurations.
Customise review notifications
Click ‘Edit’
2. Under ‘Email notification’ select ‘Send emails’ from the dropdown
3. If you wish for approval notifications to be sent to specific staff member/s for every case, enter their email address/es in the ‘To email addresses’ field. If you wish to include multiple recipients, enter a comma in between their emails (shown below).
4. If you wish for specific staff member/s to be cc’d into email notifications of review status for every case, enter their email address/addresses in the ‘Cc email addresses’ field.
5. To include the case requestor and/or case lead, tick the boxes on the left
Emails can be sent to the case requestor only by clicking the below check box.
Once you have entered your preferences, click ‘Save’
Customise continuous monitoring emails
- Click ‘Edit’
- Under ‘Continuous monitoring emails’ select ‘Send emails’ from the dropdown
3. Type the relevant email addresses into the ‘To email address’ field and ‘Cc email address’ field (optional). If you wish to include multiple recipients, enter a comma in between their emails (shown below).
4. Click ‘Save’
Automated follow up cadence
The platform allows you to have the ability to turn on automated follow ups for all cases on days 2,4,7,10.
You can enable this by toggling on the button and pressing save
Branding
The Branding tab in the First AML Platform enables users to manage the logo that appears in all email communications sent to clients. By uploading your company logo, you ensure that when your clients receive emails generated by First AML, they will immediately recognise and associate your brand with the request.
To upload your company logo follow these steps:
- Click ‘Edit
2. Drag and drop an image into the grey box or select ‘upload a file’ to open your File Navigator.
3. Review the logo
4. If you are happy with the logo click ‘Save’, otherwise select the trash icon to try again.
Offices
Within the ‘Offices’ page, users have the ability to manage different offices they want to configure. Configuring offices offers the ability to organise users into distinct offices, ensuring their access is limited to their designated office and enable specific case approval functionality.
Utilising office configuration also enables users to generate reports specific to each office. You may choose to organise offices by location and/or business stream.
To add an Office:
- Click ‘Add office’
- Type the name of the office
- Click ‘Add new office’
Office level email configurations
To edit email notifications at an office level, click the name of the relevant office, then follow the steps here: Emails.
These emails will override settings configured in the ‘Emails’ tab.
Risk Assessment
The Risk Assessment tab allows you to configure unlimited risk assessment questions which can be asked on each case.
You are able to enable this risk assessment, along with blocking cases from advancing without a risk assessment completed, if you wish.
For a full article on how to configure your risk assessment and how it works within each case, please click here.
Ongoing
The Ongoing page enables users to configure OCDD alerts based on risk levels and control whether they receive ongoing CDD and monitoring alerts.
Ongoing customer due diligence alerts
This feature allows you the ability to configure if you would like to receive notifications of OCDD alerts for individuals and entities, based on their risk level.
As you set the re-verification and triggers at a default regardless of risk level, or can customise them for specific risk levels.
These can be for x amount of days, weeks or months .
Ongoing Monitoring alerts
To enable or disable Ongoing monitoring alerts click the expand button and toggle on/off the requirements for individuals and entities having monitoring turned on.
When enabled, Ongoing monitoring provides the ability to be notified daily of changes to the screening status (PEP, Sanctions, Adverse Media) of your individuals and (Sanctions, Adverse Media) for entities.
This is delivered in the form of a daily email alert, identifying individuals whose screening result has changed, and linking to the ComplyAdvantage search report for details of matched individuals.
Manifest
The Manifest tab allows you to configure custom requirements and compliance rules to set what requirements you want to be added or suggested per case You can create your requirements and edit the default requirements.
For a full article on creating custom requirements and configuring your compliance rules and how they work within each case, please click here & here .